Guidance to Testing and Certification under IECEx

William G Lawrence

FM Approvals

Introduction

• IECEx Equipment Certification overview

• Practical approach to certification

• Process overview

IECEx Certificate of Conformity (CoC)

IECEx

Assessment and Test

Report

ExTR

Assessment of Product Samples (Type Testing)

IEC/TC 31 Product Standards

+IECEx

Quality

Assessment Report

QAR

Assessment of Manufacturers Quality System

Based on parts of ISO 9001:2008andISO/IEC 80079-34:2011

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The main instrument of the IECEx Certified Equipment Scheme is the Certificate of Conformity

IECEx Certificate of Conformity (CoC) – Online System

All CoCs available on IECEx web site

IECEx Certificate of Conformity (CoC) - Online

IECEx Certificate of Conformity (CoC) - Printed

IECEx Certificate of Conformity (CoC)

IECEx Certificate of Conformity (CoC)

document issued under IECEx Rules indicating that adequate confidence is provided that aduly identified product is in conformity with a specific standard. The certificate can relate toEx equipment, an Ex Component or an Ex system

A Unit Verification Certificate is also possible for equipment produced under a single production run

IECEx Test Report (ExTR)

a document issued by an ExTL that includes a documented record of the obtained test andassessment results for endorsement by an ExCB, associated with the issuing ExTL, demonstrating that the examined product type is in conformity with specified Standards. An ExTR may cover complete or partial testing to the relevant Standard

IECEx Quality Assessment Report (QAR)

a document that presents the results of an on-site assessment of a manufacturer’s qualitymanagement system by an ExCB, to the requirements of the IECEx Certified EquipmentScheme

IECEx Certification Body (ExCB)

a body which has been accepted according to these Rules and which issues IECExCertificates of Conformity, IECEx Quality Assessment Reports and also endorses IECEx TestReports

An Up-To-Date list of ExCBs can be found at www.iecex.com

IECEx Testing Laboratory (ExTL)

testing laboratory which is accepted according to these Rules and which is either integralwith, or under the complete control of, or belongs to or works under a written agreement withat least one Ex Certification Body

Most of the current ExTLs in the Equipment Certification Scheme are integrated with an ExCB.

Realistic Approach to Certification

Certification is a verification of a compliant design, it is NOT intended to be the initial determination of compliance

If the assessment / testing by the ExTL is the initial determination of conformity, there is a very high likelihood of non-conformances and test failures

Conformity has to be one of the integral elements of the design process. It cannot be addressed at the end of the design process without significant delay and cost

Application process for equipment certification

The application is lodged with an ExCB in a participating country

• The required assessment and testing is conducted by an ExTL under the supervision of the Ex CB

•An ExTR is prepared by the ExTL for endorsement by the ExCB

•National Differences may be included in the ExTR

• If a CoC is to be issued, a QAR must be in place at the manufacturing facility and include the applicable concepts.

•If QAR is not in place, ExCB will arrange preparation

Application

Assessment

Testing

ExTR

CoC

QAR

Application document

There is no IECEx Scheme defined application form

Required information is:

•Request for CoC or ExTR preparation•Details of product and manufacturing location•Details on Quality Management System (is QAR in place?)•List of applied standards

However, most ExCBs use a defined form

It must be clear EXACTLY what is to be certified / tested and for what ratings

Application

Assessment

Testing

ExTR

CoC

QAR

Application preparation questions

• Are you confident the equipment complies with the applicable Ex standards?

• Do you have a Quality Management System in place that complies with ISO/IEC 80079-34 for the Protection Concepts employed?

• Does the equipment documentation (Schedule Drawings) comply with IECEx OD-017?

• Is the ExTR to be used to support national certification in specific countries? Which ones?

Application

Assessment

Testing

ExTR

CoC

QAR

FM Approvals Application Form

Application

Assessment

Testing

ExTR

CoC

QAR

FM Approvals Application Form

Application

Assessment

Testing

ExTR

CoC

QAR

FM Approvals Application Form

Application

Assessment

Testing

ExTR

CoC

QAR

FM Approvals Application Form

Application

Assessment

Testing

ExTR

CoC

QAR

Application Processing

• Application review by ExCB• If the ratings being sought are unclear or if the

Schedule Drawings are incomplete, additional time and effort will be spent to resolve these issues

• Preparation of quotation by ExCB

• Acceptance of quotation by applicant

Application

Assessment

Testing

ExTR

CoC

QAR

Typical Problems Encountered During Application Review

• Product cannot comply with claimed standards.• High-Voltage motor for “i”• Switching contacts for “e”• Printed Circuit Assembly (no enclosure) for “d”

• Temperature class is not realistic• T6 {85° surface temperature} with Tamb = 100 °C• T6 with a Pi of 6 watts for “i”

• Applicant does not have design control• Critical information not included in Schedule

Drawings as the applicant doesn’t have access to it

• The Schedule Drawings, documenting the explosion safety aspects of the equipment, need to be prepared in accordance with IECEx / OD017, or the ExTL will have insufficient information to complete the assessment and testing

Application

Assessment

Testing

ExTR

CoC

QAR

Rework

After acceptance of quotation

• ExCB instructs ExTL on assessment and testing program to be conducted

•Design assessment commences

•Preparation of test plan

•Determination of exact test samples

Application

Assessment

Testing

ExTR

CoC

QAR

Typical Problems Encountered During Design Assessment

• Inadequate spacings for “i”

• Component ratings inadequate for “i”• Protective components require derating

• Inadequate service temperature range for non-metallic materials

• Flamepath dimensions for “d” greater than permitted

• Threaded entries not ISO 965 metric or NPT

• External earth corrosion issues• Connection of a copper conductor to aluminium enclosure

requires other metals for intermediate parts

These are all examples of a situation where no prior determination of compliance has been made.

Application

Assessment

Testing

ExTR

CoC

QAR

Rework

Testing

• If off-site (other than at ExTL facility) is necessary, OD-024 applies

• Off-Site / Witness Testing Agreement required• Site assessment required based on ISO 17025• Generally requires ExTL / ExCB witness• Can be used for long-term tests• Can be used for partially witnessed tests• Remote witnessing permitted in some cases

• ExCB / ExTL will provide notification of test failures

• Prompt resolution of test failures is critical

Application

Assessment

Testing

ExTR

CoC

QAR

Typical Problems Encountered During Testing

• Structural degradation of plastic enclosures during thermal endurance

• Use of non-UV resistant materials for enclosures

• Cemented joints for “d”, leakage

• Impact failures of glass or aged plastics

• IP test failures, usually after aging

These are all examples of a situation where no prior determination of compliance has been made.

Application

Assessment

Testing

ExTR

CoC

QAR

Rework

Completion and Issue of the ExTR

• When all tests are completed with satisfactory results and the Schedule Drawings are complete, the ExTR will be endorsed and issued by the ExCB

• In some cases, only an ExTR is completed when the intent is to use that ExTR to obtain national certification in specific countries. In this case, it is critical that the “National Differences” for that country have been addressed in the ExTR.

Application

Assessment

Testing

ExTR

CoC

QAR

Typical Problems Encountered During Issue of ExTR

• Failure to provide final marking drawings• Ratings may have changed• IECEx Certificate number or mark to be

integrated

• Failure to finalize instruction materials in compliance with Clause 30 of 60079-0

Application

Assessment

Testing

ExTR

CoC

QAR

Rework

ExTR can also be used to support national certification

IECEx

Assessment and Test

Report

ExTR

+National

Quality

Assessment

Requirement

=

Certificate for Canada

Completion and Issue of the IECEx CoC

• When the ExTR is issued and a valid QAR is in place, the CoC can be issued by the ExCB

Application

Assessment

Testing

ExTR

CoC

QAR

Typical Problems Encountered During Issue of CoC

• There is no QAR in place at the manufacturing facility

• The QAR is beyond the validity period

• The QAR in place does not support all of the Protection Concepts employed in the ExTR

• The QAR summary shown on the IECEx web site shows the audited site and details the Protection Concepts

Application

Assessment

Testing

ExTR

CoC

QAR

Rework

IECEx Certificate of Conformity (CoC)

IECEx

Assessment and Test

Report

ExTR

+IECEx

Quality

Assessment Report

QAR

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IECEx Certification - Formula for Success

• Integrate conformity aspects into the design process

• Conduct the assessment and testing, to the extent possible, prior to application for certification

• Review the Schedule Drawings against IECEx OD-017 for completeness

Thank you

William G LawrenceFM Approvals

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